Archive

18Apr2016

News : FCA publishes findings on its thematic review into inducements

The FCA has published its key findings from its 2015 thematic review about benefits provided and received by firms conducting MiFID business and those carrying out regulated activities in relation to retail investment products. Read further details here
  • 18 Apr, 2016
  • Quinapalus
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  • FCA, MiFID, Research,
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07Apr2016

News : European Commission publishes a Delegated Directive supporting the MiFID II Directive

This aims to specify the rules relating to the safeguarding of clients’ financial instruments and funds, to product governance obligations for investment firms manufacturing and/or distributing financial instruments and to the provision or reception of fees, commissions or any monetary or non-monetary benefits (inducements). Read further details here.
  • 7 Apr, 2016
  • Quinapalus
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  • ESMA, MiFID,
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05Apr2016

News : FCA publishes its Business Plan for 2016/17

The Business Plan outlines the seven priority themes which the FCA will focus on over the coming year. They are: pensions, financial crime and anti-money laundering, wholesale financial markets, advice, innovation and technology, firms’ culture and governance, and the treatment of existing customers. Read further details here.    
  • 5 Apr, 2016
  • Quinapalus
  • 0 Comments
  • FCA,
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